Legal & Regulatory Compliance
INDEX CAPITAL ASSETS is a reputable financial entity that operates in compliance with stringent regulatory standards set by both U.S. and international authorities. To ensure the highest level of transparency, investor protection, and market integrity, INDEX CAPITAL ASSETS is officially registered with two key regulatory bodies: the U.S. Securities and Exchange Commission (SEC) and the Financial Supervisory Authority of Norway, known as Finanstilsynet.
Registration with the U.S. Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission (SEC) is the principal federal regulatory agency responsible for enforcing the securities laws of the United States. The SEC's mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
INDEX CAPITAL ASSETS's registration with the SEC confirms its commitment to these principles and signifies its adherence to comprehensive regulatory requirements, including but not limited to:
- Regular Financial Disclosures: Filing of periodic financial statements and other critical reports that provide transparency to investors and stakeholders.
- Compliance with the Securities Exchange Act of 1934: Ensuring fair trading practices and the prevention of fraudulent activities in the securities markets.
- Corporate Governance Standards: Implementing structures and practices that align with regulatory expectations for board oversight, internal controls, and ethical conduct.
Being registered with the SEC allows INDEX CAPITAL ASSETS to conduct business activities in the U.S. financial markets, raise capital through public offerings, and engage with institutional and retail investors while maintaining accountability and oversight.
Authorization by the Financial Supervisory Authority of Norway (Finanstilsynet)
In addition to its U.S. registration, INDEX CAPITAL ASSETS is also authorized and regulated by Finanstilsynet, the Financial Supervisory Authority of Norway. Finanstilsynet is the Norwegian government agency responsible for the supervision of financial institutions, securities markets, and financial reporting.
Registration with Finanstilsynet demonstrates that INDEX CAPITAL ASSETS:
- Complies with EEA/EU Financial Regulations: Including directives and regulations under the European Economic Area (EEA) framework, which promote financial stability and market integrity across European member states.
- Maintains Robust Risk Management and Internal Control Systems: Ensuring a proactive approach to financial risk, compliance, and operational integrity including regular audits, reporting obligations, and supervisory reviews to ensure that INDEX CAPITAL ASSETS maintains a sound and responsible approach to business practices.
Operating under the supervision of Finanstilsynet also provides added protection for European investors and strengthens our international presence and credibility.
By maintaining active registrations with both the U.S. Securities and Exchange Commission and the Financial Supervisory Authority (Finanstilsynet), INDEX CAPITAL ASSETS demonstrates its dedication to operating with the highest standards of regulatory compliance. This dual oversight reinforces ICA's integrity, promotes investor confidence, and positions the company as a trusted participant in both U.S. and European financial markets.